Securities Law Updates

Featured Expert Legal Commentary

Amgen Inc. v. Connecticut Retirement Plans & Trust Funds: Supreme Court Sides with Investors in Securities Fraud Class Action

By Josh Lawler of Zuber Lawler & Del Duca

In a 6-3 decision, the Supreme Court recently held that plaintiffs alleging § 10(b) securities fraud do not need to prove the materiality of a defendant’s alleged fraudulent statements and omissions in order to receive class certification, settling a circuit split. In Amgen Inc. v. Connecticut Retirement Plans & Trust… More...

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FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision

FINRA No. ____  |  1/23/2014

The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called The IRA Rollover: 10 Tips to Making a Sound Decision to help the investing public decide if an IRA rollover is right for them. More...

The Royal Bank of Scotland Subsidiary Sentenced for Manipulation of Yen Libor

USA v. RBS Securities Japan Limited  |  DOJ No. 14-006, No. 3:13cr73, U.S. District Court for the District of Connecticut  |  1/6/2014

RBS Securities Japan Limited, a wholly owned subsidiary of The Royal Bank of Scotland plc (RBS) that engages in investment banking operations with its principal place of business in Tokyo, Japan, has been sentenced for its role in manipulating the Japanese Yen London Interbank Offered Rate (LIBOR), a leading benchmark used in financial products and transactions around the world. More...

Global Aluminum Giant Alcoa Settles Civil and Criminal Charges over Foreign Corrupt Practices Act (FCPA) Violations

In the Matter of Alcoa Inc.  |  SEC No. 2014-3, Release No. 71261, File No. 3-15673  |  1/9/2014

The Securities and Exchange Commission has charged global aluminum producer Alcoa Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries repeatedly paid bribes to government officials in Bahrain to maintain a key source of business. More...

SEC Issues Annual Staff Reports on Credit Rating Agencies

Report on Findings of Examinations of NRSROs  |  SEC No. 2013-272  |  12/24/2013

The Securities and Exchange Commission has issued its annual staff report on the findings of examinations of credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). More...

FINRA Fines Deutsche Bank Securities, Inc. $6.5 Million for Serious Financial and Operational Deficiencies

Deutsche Bank Securities, Inc. Action  |  CRD No. 2525  |  12/19/2013

The Financial Industry Regulatory Authority (FINRA) has announced that it has fined Deutsche Bank Securities, Inc. (DBSI) $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. More...

Fraud Charges Brought against Perpetrators of Prime Bank Schemes in Las Vegas and Switzerland

SEC v. Malon Group AG, et al.  |  SEC No. 2013-263, Case No. 2:13-CV-2280  |  12/16/2013

The Securities and Exchange Commission has filed fraud charges against a company named with an acronym for “Make A Lot Of Money” that is behind a pair of advance fee schemes guaranteeing astronomical returns to investors in purported prime bank transactions and overseas debt instruments. More...

Investor Alert: Investment Scams Exploit Immigrant Investor Program

Investor Alert: Investment Scams on Immigrant Investor Program  |  SEC No. ____________,  |  10/2/2013

The U.S. Securities and Exchange Commission's Office of Investor Education and Advocacy and U.S. Citizenship and Immigration Services are jointly issuing this Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as "EB-5." More...

FINRA Warns Investors of Marijuana Stock Scams

FINRA Investor Alert: Marijuana Stock Scams  |  No. ____________  |  8/20/2013

The Financial Industry Regulatory Authority (FINRA) has issued a new Investor Alert called Marijuana Stock Scams to warn investors about potential related scams. Medical marijuana is legal in almost 20 states, and recreational use of the drug was recently legalized in two states. More...

Three Whistleblowers Rewarded for Helping Stop Sham Hedge Fund

In the Matter of the Claim for Related Action Award in Connection with United States v. Andrey C. Hick, 1:11-cr-10407-PBS  |  SEC No. 2013-169, File No. 2013-3, Release No. 7029  |  8/30/2013

The Securities and Exchange Commission announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund. More...

SEC Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance

In the Matter of Brian Williamson  |  SEC No. 2013-160, Release No. 9443  |  8/20/2013

The Securities and Exchange Commission has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds. More...

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Companies Mentioned

Securities Law

The following companies are mentioned in Securities Law Updates:

Securities and Exchange Commission

Harris Associates, L.P.

Banc of America Securities LLC

Citicorp USA, Inc.

The Public Employees’ Retirement System of Mississippi

Morgan Stanley & Co., Inc.

Jan Charles Finance S.A.

Park East, Inc.

CIBC World Markets Corp.

Citigroup Inc.

Barclays Capital Inc.

Citigroup Global Markets, Inc.

Consolidated Leasing Hugoton Joint Venture #2

Buchanan Ingersoll & Rooney Professional Corporation

Consolidated Leasing Anadarko Joint Venture

W. R. Huff Asset Management Co., LLC

Guardian Capital Management


Vesta Insurance Group, Inc.

Free Enterprise Fund

Banc of America, N.A.

Torchmark Corp.

Beckstead and Watts, LLP

Barclays Bank PLC

KPMG Peat Marwick, LLP

Deloitte & Touche LLP

Public Company Accounting Oversight Board

BNY Capital Markets, Inc.

Florida State Board of Administration

Credit Suisse Securities (USA) LLC

Credit Lyonnais Securities (USA) Inc.

The Cleaners & Caulkers Local 1 Pension Fund

Credit Suisse, New York Branch

Ameriprise Financial, Inc. f.k.a. American Express Financial Corp.

Deutsche Bank AG

California Department of Corporations

The Royal Bank of Scotland plc

RiverSource Investments, LLC

Harris Nesbitt Corp.

Consolidated Management Group, LLC

The Bank of Nova Scotia

Asset Management Holding AG

Deutsche Bank

Toronto Dominion Texas, LLC f.k.a. Toronto Dominion Texas, Inc.

Alex Brown, Inc.

Tellabs, Inc.

Deutsche Bank Securities, Inc.

Mizuho International PLC

SG Cowen Securities Corp.

Lydia Capital, LLC

Additional Resources

Securities Law